Lesson 5: Monitoring Performance · Lesson 5: Monitoring Performance DPMAP Rev.2 July 2016. DPMAP Rev.2 July 2016 IT’S NOT ABOUT THE 365 THTH DAY IT’S NOT ABOUT THE 365 TH DAY

Lesson 5: Monitoring Performance

DPMAP Rev.2 July 2016


IT’S NOT ABOUT THE 365 TH DAYIT’S NOT ABOUT THE 365 TH DAY

IT’S NOT ABOUT THE 365 TH DAY (2)

Upon completion of this lesson, you will be able to:

1. Identify key aspects of the Monitoring Phase.2. Explain the value of monitoring performance continually.3. Explain the process used to address performance issues. 4. Identify elements of a formal Performance Improvement

Plan (PIP).


Learning Objectives


Performance management is an ongoing process consisting of: Planning work and

setting expectations Monitoring

performance continually

Evaluatingperformance in a summary fashion

Recognizing and rewarding good performance


Performance Management

IT’S NOT ABOUT THE 365 TH DAY

PERFORMANCEMANAGEMENT

PLANNING

MONITORING

RECOGNIZINGAND

REWARDING

EVALUATING

(4)

Monitoring Performance

Monitoring

The ongoing assessment of performance compared to the stated expectations and ongoing feedback to employees on their

progress toward reaching their goals


DODI Instruction 1400.25, Vol. 431


Monitoring Performance


Monitoring PhaseTwo-Way Communication

Emphasize Organizational Goals

Frequent Performance Discussions

Focus on Performance

Timely Recognition and Rewards

Early Detection of Performance Issues


Monitoring Phase Roles and Responsibilities


Supervisors Continuously communicate; provide encouragement, meaningful feedback,

and recognize accomplishments

Provide employees an opportunity to highlight their successes relative to the performance elements and standards

Identify needed changes to performance elements as appropriate

Review IDPs to identify development opportunities

Identify employee’s skills and abilities, and look for opportunities to further develop them

Document performance discussions

Recognize and reward performance throughout the performance appraisal cycle


Monitoring Phase Roles and Responsibilities


Employees Ask questions

Engage in self-development

Keep supervisor informed on outcomes

Provide input during performance discussions

Identify changes to performance elements as appropriate

Identify challenges impeding ability to be successful

Work with supervisor to find solutions to barriers to success

Keep a record of their accomplishments so that they are able to discuss them throughout the cycle


Effective communication includes two-way, ongoing, and meaningful feedback that contributes to the overall success of the

employee and the organization

• Individual performance expectations are linked to organizational goals

• Each employee is responsible for individual success• Employees and supervisors openly discuss individual

performance goals and expectations


Effective Communication


Continuous, meaningful feedback on employees’ strengths and areas for improvement

Guidance on employees’ projects and responsibilities

Active listening Expanded perspective for

supervisor


Elements of Effective Communication


What are the elements of effective communicationbetween supervisors and employees?

(10)

Upward Feedback

Upward feedback: Strengthens working relationships between supervisors and employees

Improves two-way communication

Increases morale and job satisfaction

Enhances organizational goal achievement

Identifies and helps to remove barriers

Encourages proactive engagement

Allows for jointly consideration of the bigger pictureDPMAP Rev.2

July 2016

Upward feedback from employee to supervisor can benefit both supervisors and employees

in an effective performance management program


What are the benefits of having continuous performance discussions?


Discussion: Benefits of Continuous Performance Conversations


Exercise: Informal Feedback Session Gone Wrong Video

DPMAP Rev.2 July 2016IT’S NOT ABOUT THE 365 TH DAY (13)

Exercise: Informal Feedback Session Gone Right Video


Internal• Motivation, perception, competence, work-life

imbalance . . .

External• Resources, training and development, unclear

standards, lack of meaningful feedback . . .

Systemic• Disparate treatment, lack of supervisor accountability,

inconsistent recognition and award system . . .DPMAP Rev.2

July 2016

Barriers to Performance Success


Break into small groups List three barriers employees may face in achieving a fully

successful or above rating For each barrier identified, suggest a mitigating action. Be prepared to share your work with the rest of the class


Small Group Exercise: Overcoming Barriers



NOTE: Minimum 90 day employee monitoring period for new/changed elements per DOD 1400.25 Vol 431, 3.2.d


Revise the Performance Plan in the Monitoring Phase

Revise when:

Organizational goal or mission changes

Assignment(s), position, or duties change

Outside influences beyond an employee’s control make the original performance standards unachievable

Assumptions about what can be reasonably achieved during the performance appraisal cycle changed

(17)

Continuous performance discussions help ensure clear understanding of outcomes at the final performance appraisal discussion.

The overall goal is mutual understanding between employee and supervisor helps eliminate surprises at the final performance appraisal discussion


Avoiding Year-End Surprises


Employee input is strongly encouraged to ensure supervisors have a full range of information when evaluating employee accomplishments

Employee input should: Identify accomplishments in a clear,

concise manner Describe how accomplishments relate

to the performance elements and standards

Demonstrate how accomplishments contributed to organizational goals


Communicating Achievements


Sample discussion questions can be found in the following documents: – Sample Performance Discussion Questions for Managers to Ask

Employees– Sample Performance Discussion Questions for Employees to Ask

Managers

Find a partner Complete role-playing scenarios for each section of the

sample discussion


Exercise: Sample Discussion Questions


Addressing Issues: Informal Feedback

First step in addressing performance issues

Informal feedback may take several forms


Steps for effective informal feedback are:


State what has been observed using facts, not emotions

Describe how the performance fails to meet standards

Wait for a response (let them talk) Ask for a solution; give suggestions

if needed Agree on a solution together Set a follow-up date and time

Make sure you document everything!

(21)

Checklist: Communicating Performance Expectations

DPMAP Rev.2 July 2016IT’S NOT ABOUT THE 365 TH DAY

Are you sure the issue is primarily a performance problem (as opposed to misconduct)?

Have you communicated performance standards to the employee?

Are the standards clear and reasonable? Have you asked the human resources

staff to review the standards for any possible problems?

Have you given the employee specific examples of when their work did not meet the standards?

(22)

Early Intervention Is Key

Feedback and assistance should be provided to employees early on, whenever there is a need for improvement or when there is a decline in performance

What actions should be taken?


Steps to Addressing Performance Issues

1. Clearly identify unacceptable performance

2. Offer assistance

3. Provide an opportunity to improve



Exercise: What Would You Do? Video – Part 1

Performance Management is a COLLABORATIONbetween Supervisors and Employees (25)


Exercise: What Would You Do? Video – Part 2 (former pg 29)


Steps to follow for Addressing Performance Issues


*NOTE: refer to Collective Bargaining Agreements, and contact HR before taking this step


Provide scheduled performance discussions;

Identify and document performance deficiencies;

Counsel employee on performance deficiencies;

Provide time for improvement

*If still unacceptable, consider a PIP

If still unacceptable, personnel action may result

(27)

How Employees Can Improve Performance?


Ask clarifying questions Ask for specific examples of “Fully

Successful” performance Request additional job-related training or

assistance Adhere to responsibilities outlined in the

PIP document; actively seek assistance when needed

(28)

Exercise: What Would You Do? Video – Part 3

DPMAP Rev.2 July 2016Performance Management is a COLLABORATION

between Supervisors and Employees (29)

Communication and Clarification

Communicate Clarify


Formal Feedback: 8 Tips for Effective Counseling Sessions


1. Clearly communicate

what acceptable performance

looks like

2. Conduct the counseling

session in an appropriate

setting

3. Plan for enough time

and document the session

4. Make sure the employee

understands performance expectations

5. Focus on the performance

issues

6. Leave emotions out of the conversation

7. Seek cooperation,

NOT confrontation

8. The mutual goal is to

improve the employee's

performance

(31)

Formal Feedback – Writing the PIP

The Performance Improvement Plan (PIP) must include, in writing:

• Element(s) in which performance is “Unacceptable” and a description of the unacceptable performance

• A description of what acceptable performance looks like• The time allowed for the opportunity to improve• A statement of the possible consequences of failure to improve during the

opportunity period• The assistance the Agency is offering the employee to improve unacceptable

performance

If the employee fails to demonstrate performance at the “Fully Successful” level despite the PIP, the employee may be reduced in grade or removed from Federal service

CALL EMPLOYEE RELATIONS FOR GUIDANCE PRIOR TO INITIATING A PIP


Break into small groups Review the case study and discuss with your group

appropriate methods for immediately addressing performance that deviates from an acceptable level

Be prepared to share your work with the rest of the class


Exercise: Improving Performance Scenario


Scenario:

– An employee is turning in work late on a regular basis

– The employee has been on the performance plan for more than 90 days


Exercise: Improving Performance Scenario


Taking immediate action, the supervisor notes that the employee’s performance plan includes a standard that work be performed in a timely manner

Supervisor schedules a meeting with employee


Exercise: Scene 1


Exercise: Scene 2

The supervisor meets with the employee privately and discusses the missed deadlines, the performance plan’s requirement, and the employee’s unacceptable performance


“You have been late turning in your report for the past four weeks. Your performance plan states that you need to complete tasks on time”.


As a follow-up, the supervisor sends the employee an email summarizing (and documenting) their informal conversation.


Exercise: Scene 3


The employee continues to miss deadlines. The supervisor provides the employee with additional

feedback: a formal memorandum of counseling, specifically referencing the deadlines that have been missed.

The supervisor attaches the message assigning the work and its deadline as well as the employee’s dated message with the final work product. The employee’s dated message is proof that the work product is late consistently.


Exercise: Scene 4


The employee still continues to miss deadlines. What does the supervisor do?


Exercise: Scene 5


Any final thoughts?


Exercise Debrief: Improving Performance Scenario


Importance of Taking Immediate Action

Damaging Office Morale

• Creates issues with other employees; projects image of

ineffective leadership from

supervisor

Disciplinary Issues

• Discipline issues are usually symptoms of performance issues


Failure to take immediate action with employee issues could mean:

(41)

Preventative Actions

Communicate clear

performance standards and

expectations to employees

Provide continuous, meaningful feedback on performance

Reward and recognize good performance, informally and

formally

Make full use of the

probationary period for new

employees


Upon completion of this lesson, you will be able to:

Identify key aspects of the Monitoring Phase. Explain the value of monitoring performance continually. Explain the process used to address performance issues. Identify elements of a formal Performance Improvement Plan

(PIP).


Learning Objectives


Are there any questions?


Questions


DODI 1400.25, Volume 410, DoD Civilian Personnel Management System: Training, Education, and Professional Development.

DODI 1400.25, Volume 431, DoD Civilian Personnel Management System: Performance Management and Appraisal Program

DODI 1400.25, Volume 451, DoD Civilian Personnel Management System: Awards.

Learning and Development Roundtable. Boosting the Effectiveness of Frontline Management (Washington D.C.: Corporate Executive Board, 2009).

U.S. Department of Defense, Report of the New Beginnings Design Teams: Proposals and Recommendations for the Design of Personnel Authorities in Section 1113(d) of the National Defense Authorization Act for Fiscal Year 2010 (Washington D.C.: November 2011)

U.S. Merit Systems Protection Board, A Call to Action: Improving First-Level Supervision of Federal Employees, (Washington D.C: Government Printing Office, 2010).

DCPAS Resources and References web site includes: DCPAS HR Toolkit, Tip Sheets and Checklist, MyPerformance Training Videos, and MyPerformance User Guides

https://www.cpms.osd.mil/Subpage/NewBeginnings/ResourcesReferences/ DCPAS LERD web site:

https://dodhrinfo.cpms.osd.mil/Directorates/HROPS/Labor-and-Employee-Relations/Pages/Home1.aspx


Additional Resources


https://www.cpms.osd.mil/Subpage/NewBeginnings/ResourcesReferences/

https://dodhrinfo.cpms.osd.mil/Directorates/HROPS/Labor-and-Employee-Relations/Pages/Home1.aspx

Documents

Lesson 5: Monitoring Performance · Lesson 5: Monitoring Performance DPMAP Rev.2 July 2016. DPMAP Rev.2 July 2016 IT’S NOT ABOUT THE 365 THTH DAY IT’S NOT ABOUT THE 365 TH DAY